Senior Compliance Manager - CAPTRUST

WHO are we looking for?

CAPTRUST is seeking a Senior Compliance Manager to join our Compliance Team. The Senior Compliance Manager will be responsible for a variety of key advisory and broker-dealer supervisory processes and procedures required by regulation and to assist in the regulatory risk mitigation. This position requires the individual to be able to work independently, assess information – both conceptually and analytically-as well as providing insight and guidance to improve/enhance our regulatory compliance program.

• Act as subject matter expert to review and approve marketing materials for institutional and client use in compliance with updated SEC Marketing Rule
• Lead the Compliance Team effort in testing and monitoring as required under Rule 206(4)-7 of the Investment Advisers Act Coordinate and provide consistency in the preparation and presentation of results to assist with annual compliance program review reports
• E-communications review and analysis
• Provide primary support to resolve compliance issues and communicate them to Compliance leadership
• Assist with the process to maintain and renew licensing & registrations of firm’s employees
• Coordination with Compliance Directors to review and assist in improving Compliance Processes & Procedures
• Assist on special projects, ad hoc assignments, and other compliance-related matters as directed by Compliance Director

Minimum Qualifications:

• 10+ years of experience working at an investment advisory firm and/or broker-dealer with direct experience in compliance
• 4-year college degree or combination of education and experience
• Compliance program testing and monitoring
• Regulatory licensing (7 and 66, 65, 24, etc.)
• Highest standard of personal and professional ethics and integrity

Desired Qualifications/Skills:

• Demonstrable working knowledge of industry regulations: The Investment Advisers Act of 1940 and the Securities Exchange Act of 1934, FINRA Rules
• Compliance certifications (CSCP, CCEP, CICCP, IACCP, CRCP, etc.) a plus
• Forensic auditing and testing experience
• Insurance industry experience a plus
• FINRA Series 7 and 24 licenses, 65 or 66 licenses, or willingness to obtain within 24 months
• Intermediate to advanced knowledge of MS Excel
• Experience with Global Relay, MCO, Red Oak and other Compliance technologies
• Excellent written communication skills

WHAT can you expect from your career at CAPTRUST?

Our colleagues, like our clients, tend to stay with CAPTRUST for years. There’s a reason for it; it’s a great culture in which to work and grow. We all work together, each of us motivating those around us with our commitment to high standards. At CAPTRUST, expect a fully stocked break room, fun employee events, and a quality team surrounding you with opportunities for personal growth.

Our Employee Benefits Package shows how much we value our team. Some benefits include:

• Employee ownership opportunities
• Brick Bonus success sharing program
• Comprehensive health coverage + Virgin Pulse wellness platform
• 401(k) program with a 5% employer match + financial planning for colleagues

WHERE will you be working?

4208 Six Forks Rd #1700 | Raleigh, NC 27609

Due to the nature of the role, this is not a remote or work from home position. #LI-Onsite

HOW do we build a world class organization one brick at a time?

We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.

Are you the next brick?

To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:

• Ability to build successful, collaborative, and trusting relationships
• Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
• A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
• Inherent desire to give back to our communities and enrich the lives of those around us
• An other-centered mindset
• Integrity through maintaining objectivity

EEO/Diversity Statement:

At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.

CAPTRUST is committed to providing employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information, or any other status protected by law. CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination. #Mid-Senior